To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
COBS 11.8 Recording telephone conversations and electronic communications [deleted]
Chapter: Dealing and managing
Effective Date: 28th February 2008
-
COBS 11.2 Best execution for AIFMs and residual CIS operators
Chapter: Dealing and managing
Effective Date: 26th July 2007
-
COBS 11.6 Use of dealing commission [deleted]
Chapter: Dealing and managing
Effective Date: 26th July 2007
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
-
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
-
COBS 11.5 Record keeping: client orders and transactions [deleted]
Chapter: Dealing and managing
Effective Date: 3rd July 2017
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
-
SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
-
COBS 3.7 Providing clients with a higher level of protection
Chapter: Client categorisation
Effective Date: 3rd July 2017
-
COBS 12.2 Investment research and non-independent research
Chapter: Investment research
Effective Date: 25th October 2007
-
COBS 19.7 Retirement risk warnings
Chapter: Pensions – supplementary provisions
Effective Date: 26th February 2015
-
COBS 4.1 Application
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th May 2007
-
COBS 4.10 Systems and controls and approving and communicating financial promotions
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th March 2015
-
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
COBS 16.3 Periodic reporting
Chapter: Reporting information to clients
Effective Date: 22nd January 2009
-
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
Chapter: fConduct of business obligations
Effective Date: 26th July 2007
-
COBS 14.3 Information about designated investments (non-MiFID provisions)
Chapter: Providing product information to clients
Effective Date: 28th June 2007